After decades of trying to make the shift, Regulation E-Delivery aims to end the opt-in requirement for receiving electronic investor information.
FINRA Rule 3170
Also referred to as the "Taping Rule". Requires certain firms to install taping systems to record all telephone conversations between their registered persons and existing and potential customers and also to review those recordings and file reports with FINRA.
Overview
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FINRA has advanced two major proposals amending the rule on communications with the public, articulating a risk-based framework for communication review.
Practical guidance for UK firms navigating US SEC authorization and FINRA compliance, including best practices and tips.
The changes would allow more retakes within a shorter span of time.
Fintech and compliance: A unique startup's journey from concept and product development to FINRA approval and registration.
Disciplinary decisions issued June 12 – 26, 2026.
Recommendations include new overarching enforcement principles, closer CEO involvement, changes to due process, and tighter engagement with regulated member firms.
The skills needed to carry out the compliance function are changing, and to be effective businesses and professionals need to understand how.
Further Reading
